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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

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COBS 14.4 Provision of information by an intermediate Unitholder

As Published: 2011

COBS 14.4 Provision of information by an intermediate Unitholder

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COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

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COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

As Published: 2007

COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

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PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

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IPRU-INV 2.1 APPLICATION

As Published: 2015

IPRU-INV 2.1 APPLICATION

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PR App 1.1

As Published: 2005

PR App 1.1

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DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

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COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

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DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

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SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

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DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

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COBS 16.5 Quotations for surrender values

As Published: 2007

COBS 16.5 Quotations for surrender values

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COBS 14.1 Interpretation

As Published: 2007

COBS 14.1 Interpretation

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COBS 18.4 Stock lending activity

As Published: 2010

COBS 18.4 Stock lending activity

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COBS 10.6 When a firm need not assess appropriateness

As Published: 2007

COBS 10.6 When a firm need not assess appropriateness

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